James Roche


Vice President, Investments

JAMES.ROCHE@RAYMONDJAMES.COM

 

With more than 21 years of experience in the financial services industry, Jim Roche works closely with his clients to help invest and manage assets, while managing investment risk and tax liabilities. As the head of Roche Wealth Management of Raymond James & Associates, located in Westlake, Ohio, Jim focuses on listening to each client because he believes everyone’s needs and financial goals are unique.

Offering a wide range of investment alternatives and services, Jim’s disciplined approach to investment management begins with assessing client objectives, risk tolerance and liquidity needs. Then, in collaboration with each client, he creates a customized asset allocation strategy that includes a broad array of asset classes and investment catagories, including active as well as index strategies and retirement income portfolios.

Before joining Raymond James & Associates in 2009, Jim worked as a Financial Advisor at National City’s broker dealer, Nat City Investments for 15 years. He also worked at Prudential Securities in the early 1990’s.

Additionally, Jim holds a Series 7 General Securities license, a Series 63 State Securities license, a Series 65 Investment Advisor’s license and the CERTIFIED FINANCIAL PLANNER™ certification. He is also licensed in the state of Ohio for Life & Health insurance. A firm believer in continuing education, Jim enhances his knowledge by attending annual conferences and completing courses at Raymond James University.

Originally from Cleveland’s west side, Jim currently resides in Strongsville, Ohio. He enjoys spending time with his wife, Janet, and their family. When he is not working with clients, Jim enjoys golfing and boating.


 

 

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER, CFP® (with plaque design) and CFP® (with flame design) in the U.S., which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

WHY WORK WITH A CFP®

In life, it’s important to find a financial planner you trust to provide sound, unbiased advice and professional services. Being CFP® certified means someone has voluntarily taken the extra steps needed to provide the highest possible standard of financial planning to those they serve. To become a CERTIFIED FINANCIAL PLANNER™ professional one must pass the comprehensive CFP® Certification Exam, have a minimum of three years’ professional experience in financial planning process and must be approved by the CFP Board, which involves an extensive background check – including an ethics, character and criminal check. To maintain certification, CFP® license holders must complete 30 hours of continuing education accepted by the CFP Board every two years.

How does working with a CFP® certified advisor benefit you? CERTIFIED FINANCIAL PLANNER™ professionals are held to the utmost standards of ethics and professional responsibility, which prepares them for a career-long commitment to provide truly personalized services to meet your needs; all while maintaining high levels of financial planning and professionalism. CFP® professionals maintain their professional edge through ongoing education and training in addition to the rigorous requirements to represent a high level of integrity, objectivity, competence, fairness, confidentiality, professionalism and diligence when working with you.